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Catherine McGuire to Retire After More Than 40 Years at the SEC

Executives Comparic Team -
The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring after 44 years at...

SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of...

Forex B2B Comparic Team -
The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and continues to monitor the...

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

Forex B2B Comparic Team -
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the...

Commission Statement on T+2 Implementation

Forex B2B Comparic Team -
Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant to amendments to Rule...

SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis

Executives Comparic Team -
The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris has been named Director of the agency's Division of Economic and Risk...

Investor Alert: Public Companies Making Ico-Related Claims

Forex B2B Comparic Team -
The SEC’s Office of Investor Education and Advocacy is warning investors about potential scams involving stock of companies claiming to be related to, or...

Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

Forex B2B Comparic Team -
The Securities and Exchange Commission today announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million...

SEC Uncovers Wide-Reaching Insider Trading Scheme

Forex B2B Comparic Team -
The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about...

SEC Announces Whistleblower Award of More Than $1.7 Million

Forex B2B Comparic Team -
The Securities and Exchange Commission today announced a whistleblower award of more than $1.7 million to a company insider who provided the agency with...

SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities

Forex B2B Comparic Team -
The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets by "virtual" organizations are subject...
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